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Compliance Manager

Morgan McKinley
Shanghai, China
Posted 20 days ago Permanent Competitive
Compliance Manager
Our client is a global well-known financial service group

Currently they are looking for a compliance manager based in Shanghai.

Responsibilities
  • Liaise with regulators such as China Securities Regulatory Commission and Asset Management Association of China
  • Provide advice for the products to be launched in China
  • Review marketing materials and financial promotions to be distributed in China to ensure adherence to applicable regulatory requirements and industry best practice
  • Prepare and compile regulatory compliance reports to regulators, auditors and/or clients in China
  • Implement local compliance monitoring programs for business activities in China in a timely and efficient manner
  • Analyze and report forensic testing results
  • Update local compliance manuals, policies, and procedures where appropriate for China's business activity
  • Support regional compliance risk assessments
Requirements:
  • A bachelor's degree
  • 5 - 12 years' relevant experience in the financial services industry, preferably gained through practical experience in asset management companies and/or regulatory authorities
  • Passed the Fund Practitioner Qualification Exam [基金从业资格考试]
  • Knowledge of CSRC and AMAC regulations and other regulatory requirements in China
  • Ability to research regulations and internal company policies and procedures for guidance and to bring alternatives /solutions for further discussion with management
  • Ability to engage business units to achieve compliance goals
  • Proficient communication skills, written and verbal in both English and Chinese
Job ID  BBBH700917
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